Chapter X Arbitration |
| 122 | Any dispute between a securities firm and its principal arising out of trading of securities may be settled by arbitration if the parties have so agreed. This shall apply to other disputes arising out of the brokerage contract.
The agreement for arbitration referred to in the preceding paragraph may be specified in the brokerage contract between a securities firm and its principal, and shall be treated as an arbitration agreement referred to in the Arbitration Act.
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| 123 | A securities firm and its principal that proceed with arbitration in accordance with their agreements may apply with an arbitration institute for arbitration proceedings to be conducted by an arbitration court.
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| 124 | In the event that the parties in dispute fail to observe the provisions of this Chapter by applying for arbitration and instead directly institute legal action in court, the other party may petition the court for dismissal of the lawsuit in accordance with Article 167 of the Securities and Exchange Act.
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| 132-1 | Any dispute arising out of trading of securities between securities firms shall be settled by arbitration; provided that the TWSE may request the Securities Dealers Association to mediate the dispute before proceeding with the arbitration.
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| 132-2 | Any securities firm which is the party to the arbitration referred to in this Chapter shall notify the TWSE when arbitration is proceeding, and shall submit copies of the relevant documents to the TWSE.
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| 132-3 | The arbitration referred to in this Chapter, its procedures, the selection of arbitrators, and other proceedings shall be conducted in accordance with the Securities and Exchange Act and the Arbitration Act.
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| 132-4 | Where the parties in dispute which proceed with the arbitration require the TWSE to provide relevant information, they shall apply to an arbitration court for such materials from the TWSE.
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| 133 | Any dispute between securities firms and the TWSE arising out of the market usage contract shall be settled by arbitration, and the provisions of this Chapter shall apply mutatis mutandis.
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